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System of Records (SOR)
66VA53 - Inspector General Complaint Center Records-VA
System location:
Veterans Administration, Office of Assistant Inspector General
for Policy, Planning and Resources (53), Washington, DC 20420.
Categories of individuals covered by the system:
The following categories of individuals will be covered by the
system: Subjects of complaints and complainants. Subjects and
complainants may be employees or third parties (e.g., occasionally, a
veteran, beneficiary or private citizen). Complainants are
individuals who have reported the possible existence of an activity
constituting a violation of law, rules or regulations, or
mismanagement, gross waste of funds, abuse of authority or a
substantial and specific danger to the public health and safety.
Categories of records in the system:
Records (or information continued in records) in this system may
include: (1) The name, home and work address and phone number of the
complainant; (2) name of the subject of the complaint; and (3) the
location and nature of the alleged wrongdoing. The records may also
include: (1) Documentation and evidence from the complainant, and (2)
correspondence between the Assistant Inspector General for Policy,
Planning and Resources (53) and other components of the Office of the
Inspector General, agency departments, and the complainant.
Authority for maintenance of the system:
Title 38, United States Code, Section 210(c)(1); and Title 5,
United States Code, Appendix 1, Section 7 (a) and (b) (The Inspector
General Act of 1978, Pub. L. 95-452).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
- The record of an individual who is covered by this system may
be disclosed to a member of Congress or staff person acting for the
member when the member or staff person requests the record on behalf
of and at the request of that individual.
- Any information in this system, except the name and address of
a veteran, which is relevant to a suspected violation or reasonably
imminent violation of law, whether civil, criminal or regulatory in
nature and whether arising by general or program statute or by
regulation, rule or order issued pursuant thereto, may be disclosed
to a Federal, State, local or foreign agency charged with the
responsibility of investigating or prosecuting such violation, or
charged with enforcing or implementing the statute, rule, regulation
or order issued pursuant thereto.
- The name and address of a veteran, which is relevant to a
suspected violation or reasonably imminent violation of law, whether
civil, criminal or regulatory in nature and whether arising by
general or program statute or by regulation, rule or order issued
pursuant thereto, may be disclosed to a Federal agency charged with
the responsibility of investigating or prosecuting such violation, or
charged with enforcing or implementing the statute, regulation, rule
or order issued pursuant thereto, in response to its official
request.
- The name and address of a veteran, which is relevant to a
suspected violation or reasonably imminent violation of law
concerning public health or safety, whether civil, criminal or
regulatory in nature and whether arising by general or program
statute or by regulation, rule or order issued pursuant thereto, may
be disclosed to any foreign, State or local governmental agency or
instrumentality charged under applicable law with the protection of
the public health or safety if a qualified representative of such
organization, agency or instrumentality has made a written request
that such name and/or address is provided for a purpose authorized by
law.
- Any information in this system may be disclosed to a Federal
grand jury, a Federal court or a party in litigation, or a Federal
agency or party to an administrative proceeding being conducted by a
Federal agency, in order for the VA to respond to and comply with the
issuance of a Federal subpoena.
- Any information in this system may be disclosed to a State or
municipal grand jury, a State or municipal court or a party in
litigation, or to a State or municipal administrative agency
functioning in a quasi-judicial capacity or a party to a proceeding
being conducted by such an agency, in order for the VA to respond to
and comply with the issuance of a State or municipal subpoena;
Provided, That any disclosure of claimant information made under this
routine use must comply with the provisions of 38 CFR 1.511.
- Any information in this system may be disclosed to the Office
of Special Counsel, upon its official request, when required for the
Special Counsel's review of the complainant's allegations of
prohibited personnel practices.
- Records from this system of records may be disclosed to a
Federal Agency or to a State or local government licensing board and/
or to the Federation of State Medical Boards or a similar
nongovernment entity which maintains records concerning individuals'
employment histories or concerning the issuance, retention or
revocation of licenses, certifications, or registration necessary to
practice an occupation, profession or specialty , in order for the
Agency to obtain information relevant to an Agency decision
concerning the hiring, retention or termination of an employee or to
inform a Federal Agency or licensing boards or the appropriate
nongovernment entities about the health care practices of a
terminated, resigned or retired health care employee whose
professional health care activity so significantly failed to conform
to generally accepted standards of professional medical practice as
to raise reasonable concern for the health and safety of patients in
the private sector or from another Federal Agency. These records may
also be disclosed as part of an ongoing computer matching program to
accomplish these purposes.
- Identifying information in this system, including name,
address, social security number and other information as is
reasonably necessary to identify such individual, may be disclosed to
the National Practitioner Data Bank at the time of hiring and/or
clinical privileging/reprivileging of health care practitioners, and
other times as deemed necessary by VA, in order for VA to obtain
information relevant to a Department decision concerning the hiring,
privileging/reprivileging, retention or termination of the applicant
or employee.
- Relevant information from this system of records may be
disclosed to the National Practitioner Data Bank and/or State
Licensing Board in the State(s) in which a practitioner is licensed,
in which the VA facility is located and/or in which an act or
omission occurred upon which a medical malpractice claim was based
when VA reports information concerning: (1) Any payment for the
benefit of a physician, dentist, or other licensed health care
practitioner which was made as the result of a settlement or judgment
of a claim of medical malpractice if an appropriate determination is
made in accordance with agency policy that payment was related to
substandard care, professional incompetence or professional
misconduct on the part of the individual; (2) a final decision which
relates to possible incompetence or improper professional conduct
that adversely affects the clinical privileges of a physician or
dentist for a period longer than 30 days; or, (3) the acceptance of
the surrender of clinical privileges or any restriction of such
privileges by a physician or dentist either while under investigation
by the health care entity relating to possible incompetence or
improper professional conduct, or in return for not conducting such
an investigation or proceeding. These records may also be disclosed
as part of a computer matching program to accomplish these purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in numbered individual file folders, on
computer disks, tapes and printouts.
Retrievability:
The file folders are numbered and are individually retrievable by
means of the case numbers or indexed in the computer by the names of
the complainants and subjects of the complaints.
Safeguards:
Access to the file folders and computerized information is
restricted to authorized personnel on a need-to-know basis. The file
room and cabinets are locked after duty hours and the building is
protected by building guards and the Federal Protective Service.
Computerized case tracking information will be maintained in a
private library accessible only to authorized users. Access to the
computerized information will be limited to VA employees on a ``need-
to-know'' basis by means of passwords and authorized user
identification codes. Computer system documentation will be
maintained in a secure environment in the Office of Inspector
General, VA Central Office. Physical access to printouts and data
terminals will be limited to authorized personnel in Office of
Inspector General.
Retention and disposal:
Records will be maintained and disposed of in accordance with a
records disposition authority approved by the Archivist of the United
States.
System manager(s) and address:
Assistant Inspector General for Policy, Planning and Resources
(53), Veterans Administration Central Office, Washington, DC 20420.
Notification procedure:
An individual who wishes to determine whether a record is being
maintained by the Assistant Inspector General for Policy, Planning
and Resources, under his or her name in this system or wishes to
determine the contents of such records should submit a written
request to the Assistant Inspector General for Policy, Planning and
Resources (53). However, a majority of records in this system are
exempt from the notification requirements under 5 U.S.C. 552a (j) and
(k). To the extent that records in this system or records are not
subject to exemption, they are subject to notification. A
determination as to whether an exemption applies shall be made at the
time a request for notification is received.
Record access procedures:
An individual who seeks access to or wishes to contest records
maintained under his or her name in this system may write or call the
Assistant Inspector General for Policy, Planning and Resources (53).
However, a majority of records in this system are exempt from the
records access and contesting requirements under 5 U.S.C. 552a (j)
and (k). To the extent that records in this system of records are not
subject to exemption, they are subject to access and contest. A
determination as to whether an exemption applies shall be made at the
time a request for access or contest is received.
Contesting record procedures:
(See records access procedures above.)
Record source categories:
Information is obtained from employees, third parties (e.g., on
occasion a veteran, beneficiary or third party), the General
Accounting Office, Veterans Administration records, congressional and
federal offices.
Systems exempted from certain provisions of the act:
Under 5 U.S.C. 552a(j)(2), the head of any agency may exempt any
system of records within the agency from certain provisions of the
Privacy Act if the agency or component that maintains the system
performs as its principal function any activities pertaining to the
enforcement of criminal laws. The Inspector General Act of 1978, Pub.
L. 95-452, mandates the Inspector General to recommend policies for
and to conduct, supervise and coordinate activities in the Veterans
Administration and between the Veterans Administration and other
Federal, State and local governmental agencies with respect to: (1)
The prevention and detection of fraud in programs and operations
administered or financed by the Veterans Administration and (2) the
identification and prosecution of participants in such fraud. Under
the Act, whenever the Inspector General has reasonable grounds to
believe there has been a violation of Federal criminal law, the
Inspector General must report the matter expeditiously to the
Attorney General.
This system of records has been created in major part to support
the criminal law-related activities assigned by the Inspector General
to the Assistant Inspector General for Investigations. These
activities constitute a principal function of the Inspector General's
Complaint Center staff.
In addition to principal functions pertaining to the enforcement
of criminal laws, the Inspector General may receive and investigate
complaints and allegations from various sources concerning the
possible existence of activities constituting noncriminal violations
of law, rules or regulations; mismanagement; gross waste of funds;
abuses of authority or substantial and specific danger to the public
health and safety. This system of records also exists to support
inquiries by the Assistant Inspectors General for Auditing and for
Policy, Planning and Resources into these noncriminal violations.
Based upon the foregoing, the Administrator of Veterans Affairs
has exempted this system of records, to the extent that it
encompasses information pertaining to criminal law-related
activities, from the following provisions of the Privacy Act of 1974,
as permitted by 5 U.S.C. 552a(j)(2):
5 U.S.C. 552a(c) (3) and (4)
5 U.S.C. 552a(d)
5 U.S.C. 552a(e) (1), (2) and (3)
5 U.S.C. 552a(e)(4) (G), and (H) and (I)
5 U.S.C. 552a(e) (5) and (8)
5 U.S.C. 552a(f)
5 U.S.C. 552a(g)
The Administrator of Veterans Affairs has also exempted this
system of records to the extent that it does not encompass
information pertaining to criminal law-related activities under 5
U.S.C. 552a(j)(2) from the following provisions of the Privacy Act of
1974, as permitted by 5 U.S.C. 552a(k)(2):
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4) (G), (H) and (I)
5 U.S.C. 552a(f)
Reasons for exemptions:
The exemption of information and material
in this system of records is necessary in order to accomplish the law
enforcement functions of the Office of Inspector General; e.g., to
prevent subjects of investigations from frustrating the investigatory
process by discovering the scope and progress of an investigation, to
prevent the disclosure of investigative techniques, to fulfill
commitments made to protect the confidentiality of sources, to
maintain access to sources of information and to avoid endangering
these sources and law enforcment personnel.
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